Compliance Analyst Private Bank # 03PB

posted on: 22 Mar 2018




A Top Tier asset management firm is seeking a Compliance Analyst with 3-5++  years’ experience in Investment Management and Private Banking lines of business familiar with CMP process.

Primary Tasks:

Indicate changing regulatory legal developments.

Establish CMP priorities, present reviews, and results with all concerned.

Create CRAs and annual plans to organize and prioritize testing topics for the Investment Management line of business within the Bank.

Perform compliance testing following the yearly plans also on ad hoc basis. Testing will be based on research and analysis of workflows.

Create written reports for Compliance and management to drive efficiencies in the planning and execution of compliance testing.

Experience with developing Compliance Risk Assessments (CRAs) 


Qualifications: Bachelor’s, MBA, or JD degree with at least 3-5+ years of experience in compliance, legal or audit roles.


CONTACT: Brian at 212-354-9322 or email your resume to

Type: Compliance
Level: Other
Practice: Compliance
Compensation: unspecified
State: New York City: NYC
Telephone: (212) 354-9322 Email:
Recruiter Name: Brian Jacobs